In the Media

Financial Advisor (September 23, 2019) - The House has passed a bill that would prohibit mandatory arbitration in brokerage and advisor contracts, giving consumer advocates who have been fighting for…
InvestmentNews (September 23, 2019) - Finra spokeswoman: Case staff advise arbitration panels on rules, procedures This story has been revised to indicate that under Finra rules, arbitrators must…
InvestmentNews (September 20, 2019) - Legislation unlikely to get through Senate but sends a message for potential future action.  Advocates for prohibiting mandatory arbitration for investment…
Financial Planning (September 5, 2019) - An advisor accused by the SEC of defrauding investors and eventually barred from the industry was allowed by the agency to choose the buyer of his firm,…